Securities Archive » May, 2007

Securities - May, 2007

166 articles

• Brocade Settles With SEC Over Options Backdating
• CFTC Seeks Judgment In Phony Exchange Case
• Class Member Objects To $100M AmEx Settlement
• Changes To Pay Disclosure Rules May Be Imminent
• Judge Tosses Derivative Suit Against Mercury
• Quinn Emanuel Reels In Hedge Fund Specialist
• New Auditing Standard Is Win For Small Businesses
• Ernst & Young Tries To Get Case Dismissed
• Bondi Strikes Back At BofA's Bid For Info
• Court Refuses To Increase Award In ING Case
• BofA Seeks Info From Parmalat's Bondi Over Witness
• Tyco ERISA Plaintiffs Want Cravath To Stay In Suit
• Brocade Drops Wilson Sonsini Over Conflict Concerns
• Barclays Pays $10.9M To Settle Insider Trading Claims
• Final Approval Sought For $100M AmEx Settlement
• FERC, Snohomish Win Right To Appeal Enron Order
• Parmalat Judge Reinstates Counterclaim
• Judge OKs Doc Request In New Century Case
• Spitzer's Panel To Keep Big Money In The Big Apple
• National Century Ruling Stalls Discovery
• Nacchio Bids To Toss Hedge Funds' Claims
• BP Calls For High Pleading Standard
• Trustee, New Century Clash Over Examiner's Role
• Parmalat Judge Chucks Counterclaim
• Xethanol Wants Securities Complaint Dismissed
• Judge Tosses Shareholder Suit Against AOL
• Beware HSR Filing Requirements For Option Exercises
• Harsher Allegations In New Novellus Lawsuit
• SEC Investigates Dow Chemical Buyout Talks
• SEC, Brocade Exec Clash Over Subpoenas
• Reinsurance Suit Ends In Victory For SEC
• Allegheny Plaintiffs Ask For Settlement Approval
• Refco Plaintiffs Object To Defendants' Motion
• Petrobras Finds No Proof Of Insider Trading
• Securities Suit Against Esteé Lauder Dismissed
• SEC Issues New Section 404 Guidance
• Court Blocks Dismissal Of Deloitte Suit
• Adelphia Founder, Son Lose Fraud Appeal
• SEC Orders HP To Follow Board Disclosure Rules
• Banker To Be Indicted In TXU Insider Trading Case
• Cintas' Bid For Sanctions Against Union Rejected
• Security Tech Company Sued Over Alleged IPO Lies
• Collins & Aikman Execs Get More Time To Respond
• Appeals Court Blocks Judge In KPMG Fee Spat
• UBS Sued Over Wood River Hedge Fund's Collapse
• House Creates Fed. Housing Finance Regulator
• State Supreme Court Spurns Citigroup Request
• Solicitor General Urges Certiorari In ERISA Case
• SEC Approves New Rules For Credit-Rating Firms
• Morgan Stanley IT "Scapegoat" Appeals Case
• Bisys To Pay $25M To Settle Reporting Allegations
• Telecom Sues J.P. Morgan Over Merger Gone Bad
• Squawk Box Brokers Face Retrial On Conspiracy
• CompuDyne Insider Trading Pact Under Scrutiny
• Judge Dismisses Fraud Charges Against CA Inc.
• U.S. Moves To Freeze Nacchio's Assets
• Supreme Court To Hear Futures Case
• Bed Bath & Beyond Suit Dismissed
• Law Firm Sued Over "Botched" Stock Purchase
• Dismissals Loom Over Backdating Derivative Suits
• Olde Monmouth Moves To Dismiss DTC Counterclaims
• Jury Convicts Ex-State Senator Of Securities Fraud
• Hedge Fund Director To Pay For Alleged HSR Violations
• Former KLA-Tencor CEO Disputes Class Action
• Immucor Settles for $2.5 Million
• Treasury: New Committee For Accounting Industry
• Dynegy Exec's Attorney Wins Case Over Fees
• Lawyers Split On Fifth Circuit's Test For Class Status
• Claims Tossed In Wells Fargo Suit
• Investment Firm Ordered To Pay Up
• Brocade Outside Directors Want Options Suit Tossed
• Former Royal Ahold Exec Gets Seven Years
• New Century Wants Howrey As Special Counsel
• New Bill Would Mandate Hedge Fund Registration
• UBS Exec Seeks Extension To Answer SEC Charges
• Bush Prohibits Contingency Work On U.S.' Behalf
• Collins & Aikman Sues Former Execs, Board
• Subprime Lender Hit With Whistleblower Suit
• Crowell & Moring Adds Former Federal Prosecutor
• SeraCare Emerges, Settles Securities Suit
• Class Action Plaintiffs Scoff At Dana Proposal
• Appeals Court Raises Bar For Securities Class Status
• SOX Costs Drop For Third Year In A Row
• SEC Adds Defendant In NJ Affordable Case
• Private Equity Deals Spark Antitrust Debate
• CA Adds Millions For Costs From Stock Problems
• Judge Shelves Shareholder Suit Against Bank Execs
• Ex-Pimco Head Settles With SEC
• Ex-Oppenheimer Exec Pleads Guilty To Stock Fraud
• SEC Charges Ex-Oracle VP With Insider Trading
• Judge Won't Jail Former Gemstar Chairman
• Tyco Pays $3B In Record Settlement
• BofA, Barclays Appeal Dutch Court's Decision
• SEC Will Not Appeal Fee-Based Accounts Ruling
• SEC Sends Biovail Wells Notice
• High Court Won't Hear Nigerian Barge Fraud Appeal
• JP Morgan Scholarship Fund Comes Under Fire
• Judge Won't Dismiss Brocade Backdating Suit
• MFS, JPMorgan Settle Market Timing Class Actions
• Optionable's Troubles Snowball With Lawsuits
• CFTC Asks SEC To Exempt Credit Default Options
• SEC Ties Bank Head To Insider Trading Schemes
• Jury Hands Former McAfee CFO Fraud Conviction
• Rule 26(f) And Automatic Stays In Securities Litigation
• CEO Indicted For ERISA Embezzlement
• AIG Unit Sues Tyco Over Bond Buyback Offer
• Partial Verdict Favors Brokers In Squawk Box Trial
• Ex-Comverse Exec Gets One Year In Jail
• Amaranth Shells Out $717K To Settle SEC Probe
• Oil Driller Clears SEC Probe
• Union Leaders Call On SEC To Support Enron Plaintiffs
• Judge Tosses Fraud Suit Against Peregrine Officials
• Backdating Derivative Actions And Demand Futility
• Attorney Couple Pleads Guilty To Insider Trading
• SEC Probes Hedge Funds' Short-Selling Claims
• Former Enserco Trader Indicted For False Reporting
• Refco Unit Seeks To Lift Stay To Dismiss Civil Suit
• Ex-Morgan Stanley Broker Accused Of Insider Trading
• Biovail Chair Fails To Reach Deal With Regulator
• Motorola To Fork Over $25M To Settle SEC Charges
• Cardinal Health Settles Suit For $600M
• Judge Grants $1M Bail To Ex-Credit Suisse Broker
• Morgan Stanley Settles SEC Charges For $7.9M
• Goldman Sachs Dismissed From Fannie Mae Suit
• Appeals Court Tosses 4 of 6 Claims Against Grasso
• Former LendingTree Exec Gets Probation
• Court Approves $10M Nicor Settlement
• SEC Files Charges Over Dow Jones Trades
• Citigroup To Pay $200K To Quell SEC Charges
• Judge Again Denies Dismissal Of Broadcom Case
• Regulators Investigate Suspicious Dow Jones Trades
• CalPERS Seeks Proxy Access At UnitedHealth
• Ex-Credit Suisse Broker Denied Bail In TXU Case
• Hedge Fund Financier Pays $16.8M To Settle With SEC
• Judge Refuses To Hand Over Millions To Cendant
• Judge Rules Against SEC In Pay-To-Play Case
• Class Certified In Harrah's Employee Options Case
• SEC Freezes Assets Of Boston Hedge Fund
• HSBC Settles Fraud Case For $23M
• Options Backdating: The Statistics Of Luck
• Ex-Milberg Partner Seeks Dismissal Of Fraud Claims
• SEC: Game Over For Take-Two Distributor
• Broker Charged With TXU Insider Trading
• Bear Stearns Seeks Reversal Of Bankruptcy Ruling
• Judge Tosses Suit Challenging NASD-NYSE Deal
• Employee Sued For Alleged Theft Of $7.7M In Stock
• Derivative Suit Against Estée Lauder Crumbles
• Judge Says ABN, Goldman Misled Investors
• German Court OKs Bayer-Schering Merger
• Shareholders Attack Hostile Takeover Of Reinsurer
• A.G. Edwards Settles Market Timing Suit For $3.86M
• Court Approves $93M Cigna Settlement
• Subprime Lender Hit With Securities Class Action
• Judge Dismisses Claim Against Banks From Refco Suit
• DOJ Question Employees In Broadcom Probe
• Ex-Hedge Fund Manager Pleads Guilty
• FDA Attempt To Quash Subpoenas Denied
• Judge Orders Payment Of $11M In Trading Scheme
• Credit Suisse Hit With Suit Over Subprime Loans
• Judge Recommends Revoking Impax's Registration
• Bingham McCutchen Joins Forces With Litigation Firm
• Black Merrill Workers Seek Board's Help In Race Case
• Ex-Tyco Exec To Pay $2.6M To Settle With SEC
• CFTC Moves For McGraw-Hill's Natural Gas Info
• Westar Execs To Face Third Trial
• Players' League Countersues In Hedge Fund Battle